The Need for an Integrated Regulatory Regime for Aviation and Space: ICAO for Space?

200 Pages·2011·1.957 MB·English

by  Ram S. Jakhu, Tommaso Sgobba (auth.), Ram S. Jakhu, Tommaso Sgobba, Paul Stephen Dempsey (eds.)

~ SpringerWienNewYork
Studies in Space Policy
Volume 7
Edited by the European Space Policy Institute
Director: Kai-Uwe Schrogl
Editorial Advisory Board:
Herbert Allgeier
Frank Asbeck
(cid:2)
Alvaro Azcarraga
Frances Brown
Alain Gaubert
Leen Hordijk
Peter Jankowitsch
Ulrike Landfester
(cid:2)
Andre Lebeau
Alfredo Roma
Ram S. Jakhu, Tommaso Sgobba,
Paul Stephen Dempsey (eds.)
The Need for an Integrated
Regulatory Regime for
Aviation and Space
ICAO for Space?
SpringerWienNewYork
Ram S. Jakhu
PaulStephenDempsey
McGillUniversity,Montreal, QC, Canada
TommasoSgobba
ESA, Noordwijk, The Netherlands
This work is subjectto copyright.
All rights are reserved, whether the whole or part of the material is concerned,
specifically those of translation, reprinting, re-use of illustrations, broadcasting,
reproduction by photocopying machines or similar means, and storage in data
banks.
Product Liability: The publisher can give no guarantee for all the information
containedinthisbook.Thisdoesalsorefertoinformationaboutdrugdosageand
application thereof. In every individual case the respective user must check its
accuracy by consulting other pharmaceutical literature. The use of registered
names,trademarks,etc.inthispublicationdoesnotimply,evenintheabsenceof
a specific statement, that such names are exempt from the relevant protective
lawsand regulationsand thereforefree for generaluse.
(cid:2) 2011 Springer-Verlag/Wien
Printed in Germany
SpringerWienNewYork isa partof
Springer ScienceþBusinessMedia
springer.at
Typesetting: Thomson Press (India) Ltd., Chennai
Printing:Strauss GmbH, 69509 M€orlenbach, Germany
Cover: Rocketplane Global Inc.
Printed onacid-free and chlorine-free bleached paper
SPIN: 80036708
With 9 Figures and 11 Tables
Library of CongressControlNumber: 2011931323
ISSN 1868-5307
ISBN 978-3-7091-0717-1 SpringerWienNewYork
Tableofcontents
Table of contents
Foreword
Assad Kotaite. . .. . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . .. ix
Executivesummary . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . .. xi
Acknowledgements . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . .. xv
List of acronyms .. . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . .xvii
List of figures and tables . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . . xix
Introduction . .. . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . . xxi
CHAPTER 1 Background
1.1 Needfor international safetyregulations
for commercial spaceactivities . .. . . .. . . .. . . .. . .. . . .. .3
1.1.1 Introduction. . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . .. .3
1.1.2 Wideningaccess to space and its economicsignificance. . .. . .. . . .. .4
1.1.3 Safety Risk of Space Missions. .. . . .. . .. . . .. . . .. . . .. . .. . . ..12
1.1.4 Challenges for regulatory regimes and bodies . .. . . .. . . .. . .. . . ..14
CHAPTER 2 Legal and regulatory regimes
2.1 Currentspaceregulations and standards .. . . .. . .. . . ..21
2.1.1 Legal and regulatory framework.. . . .. . .. . . .. . . .. . . .. . .. . . ..21
2.1.2 ExistingInternational Space Safety Standards. .. . . .. . . .. . .. . . ..33
2.2 Existing international civil regulatoryframeworks,
other activitiesor environments .... .............. ..39
2.2.1 International CivilAviation Organization (ICAO). .. . . .. . .. . . ..40
2.2.2 International Telecommunication Union (ITU) . . . .. . . .. . .. . . ..43
v
Tableofcontents
2.2.3 International Maritime Organization (IMO) .. . . .. . . .. . . .. . .. .45
2.2.4 Other sources of internationallaw . .. . .. . . .. . . .. . . .. . . .. . .. .46
2.3 Transition from air law and space law
toaerospacelaw . . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .49
2.3.1 Introduction. . .. . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .49
2.3.2 Space law conventions. . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .50
2.3.3 Boundarybetween airspace and outer space . .. . . .. . . .. . . .. . .. .53
2.3.4 Need for aunified legal regime . . . .. . .. . . .. . . .. . . .. . . .. . .. .61
CHAPTER 3 Safety issues
3.1 Safetyissues . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .71
3.1.1 Launch site processing and ground safety. . . .. . . .. . . .. . . .. . .. .71
3.1.2 Flight hardware, ground support equipment, and COTS.. . . .. . .. .72
3.2 Launchsafety . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .74
3.3 Suborbital safety . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .79
3.4 Orbitalsafetyissues . . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .82
3.4.1 Orbital debris. .. . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .82
3.4.2 Collision risk with orbital debris . . .. . .. . . .. . . .. . . .. . . .. . .. .84
3.4.3 Collision risk to human spaceflight .. . .. . . .. . . .. . . .. . . .. . .. .85
3.4.4 Orbital debris ground risk. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .87
3.5 Returning vehicles risk . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .91
3.5.1 Risk to people on the ground .. . . .. . .. . . .. . . .. . . .. . . .. . .. .91
3.5.2 Risk to people in aircraft.. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. .93
vi
Tableofcontents
3.6 Saving lives inspacemissions . . .. . . .. . . .. . . .. . .. . . ..96
3.6.1 Extending internationalsearchand rescue . . . .. . . .. . . .. . .. . . ..96
3.6.2 Ascentemergencies. .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . ..96
3.6.3 Orbital safety and rescue. .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . ..97
3.6.4 Ionizingradiation risk for human spaceflight . .. . . .. . . .. . .. . . ..99
CHAPTER 4 Need for international space safety
regulations
4.1 Needfor international regulation of STM, space
tourism &spacedebris . . .. . . .. . .. . . .. . . .. . . .. . .. . . . 103
4.1.1 Commonality or un-commonality of ground standards . . .. . .. . . . 103
4.1.2 Comprehensive regulatoryapproach to space trafficmanagement . . 104
4.1.3 International regulation of aerospace vehiclesforspace tourism . . . . 111
4.1.4 International regulation of orbital debris. .. . . .. . . .. . . .. . .. . . . 113
CHAPTER 5 Proposal for a new regulatory regime
5.1 ICAO for near-space safety? . .. . .. . . .. . . .. . . .. . .. . . . 119
5.1.1 Background . . .. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . . 119
5.1.2 Managementofspace-boundtrafficthroughinternationalairspace... 120
5.1.3 Integration of aviationand space infrastructure.. . . .. . . .. . .. . . . 122
5.1.4 Integrated terrestrial and space weatherforecasts. . . .. . . .. . .. . . . 123
5.1.5 ICAO foran improved internationalspace safety culture. .. . .. . . . 124
5.2 Proposal for a new regulatory regime . . .. . . .. . .. . . . 126
5.2.1 Policyprinciple.. . . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . . 126
5.2.2 Regulatorymodel. . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . .. . . . 128
5.2.3 Space safety oversight operatingmodel. . .. . . .. . . .. . . .. . .. . . . 128
5.2.4 ICAO forspace organization. . .. . . .. . .. . . .. . . .. . . .. . .. . . . 131
5.2.5 Generaldescription of the safety certification process . . . .. . .. . . . 137
5.2.6 Suggested ICAO for space regulatory implementation . . .. . .. . . . 138
vii
Tableofcontents
Appendix A: Relevantexcerpts of the ITU constitution
andconvention .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. 141
Appendix B: Relevantexcerpts of the convention
on international civil aviation (Signed atChicago,
on 7December1944)– Chicago convention . .. . . .. . .. 156
Appendix C: Model codeof conduct for space-faring
nations . .. . . .. . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. 178
About the editors. . . .. . .. . . .. . . .. . . .. . .. . . .. . . .. . . .. . . .. . .. 183
DISCLAIMER:ThecontentsofthisStudydonotrepresenttheviewsoropinions
of the organizations with which the contributors and reviewers are employed,
associated or affiliated.
viii
Foreword
Foreword
I read with great interest the Study “ICAO for Space” and found it most
interesting,welldocumentedandwellstructured.IamprovidinginthisForeword
some historicalbackgroundand new perspectivesregarding civil aviation.
AttheinvitationoftheUnitedStatesofAmerica,52StatesmetinChicagoand
signed, on 7 December 1944, the Convention on International Civil Aviation,
known as the “Chicago Convention”, which is one of the most remarkable
international legal documents of the 20th Century. I like to refer to it as the
“MagnaCarta”ofglobalairtransportforitsbreadthandscope,andforitsenduring
capacity to ensure the safe, secure and orderly development of what is today
certainly the most efficientmode of mass transportation ever created.
ThisConventionhasprovenextraordinarilyresilientformorethansixdecades,
havingbeenamendedbuttwiceinasubstantiveway,inareaswhichthevisionary
draftersoftheConventioncouldnothaveforeseen(Article3bisdealtwiththeuse
of weapons against civil aircraft while Article 83 bis addressed the impact of
globalizationandwidespreadeconomicliberalizationoftheairtransportsector,
emphasizing the spirit of the preambleto theChicagoConvention).
However, the 96 Articles of the Convention and its Annexes, which contain
closeto10,000StandardsandRecommendedPractices(SARPs),aremuchmore
complexinnatureandrelativelyarduoustodecipherandunderstandforthosenot
involvedintheirapplication.FullanduniversalcompliancewithSARPsremains
thefirstconditionformaintainingandenhancingthesafetyofinternationalcivil
aviation.
Safety,whichisthetoppriorityoftheConvention,isanothercommonconcern
weshare.Indeed,thereisnogrowthofairtransportwithoutsafety.Inspiteofsome
accidents,airtransportisfundamentallysafeandremainsthesafestmodeofmass
transportation.
However,sincethisstudyisentitled“ICAOFORSPACE”,thefirsttimethat
sub-orbitalflightswerementionedinICAOwasatthe35thSessionoftheICAO
Assemblyin2004whenIsaid“100yearsfromnowregularpassengerflightsin
sub-orbitalspaceandevenouterspacecouldbecommonplace”.Todatewehave
nodefinitionwheretheairspaceendsandwheretheouterspacecommencesand,
of course,nointernational treaty was established.
I am of the opinion that there is no need to establish a special international
organization for future commercial civil sub-orbital flights, not even for space
ix
Foreword
flights.ICAOisverywellstructuredtomeetthenecessaryrequirementsforsuch
developmentinthefuturebysimplyextendingitsmandatetocoverthisaspectof
flights. Although there is no reference in the Chicago Convention to aviation
securityandenvironment,neverthelessthesetwoitems,togetherwithsafety,are
top priority in the ICAO Programme and well integrated in ICAO activities.
ICAOhasdevelopedtwoAnnexes,onefortheEnvironment(Annex16)andthe
other for Security (Annex 17). New Annexes could be developed to cover sub-
orbitalflightsandspaceflights.Shouldanamendmentbeneededtocoverthesub-
orbitalandultimatelytheouterspacecivilflights,ofcoursethiscouldbedonebutit
maytake along time for theamendment toenterinto force.
ICAO,which wascreated bytheChicago Convention,remainsasrelevant a
globalforumasever,inpromotingthesafeandorderlydevelopmentofinterna-
tionalcivilaviation.Todaywefindourselvesinasimilarsituationwithrespectto
space.WiththeChicagoConventionwehaveamodelatourdisposal.Weshould
notignorethispreciouslessonofhistorybyactingexpeditiously.Wecantackle
issues before weare forced to do so.
IcommendthisStudyforitsin-depthanalysistoallthosewhoareinterestedin
aviation,andwishtoexpressmydeepestappreciationtotheauthorsofthestudy.
Their vision willguidethe policy of civil flights in space for the years to come.
Assad Kotaite
President Emeritus of the ICAO Council
x